GDPR Art.36: Prior Consultation
What This Control Requires
The controller shall consult the supervisory authority prior to processing where a data protection impact assessment under Article 35 indicates that the processing would result in a high risk in the absence of measures taken by the controller to mitigate the risk.
In Plain Language
Sometimes a DPIA reveals risks you simply cannot mitigate on your own. When that happens - when residual risk remains high despite your best efforts - you must consult the supervisory authority before you start processing. This is your safety valve, not a rubber stamp. You need to hand over a comprehensive package: the DPIA itself, the respective responsibilities of controllers and processors, the purposes and means of processing, the safeguards you have already put in place, your DPO's contact details, and whatever else the authority asks for. Be thorough - a weak submission just slows things down. The supervisory authority has up to eight weeks to respond (extendable by six weeks for complex cases). During this window they can advise, warn, or even ban the proposed processing. Do not start processing until the consultation is complete and you have addressed any recommendations they make.
How to Implement
Build prior consultation triggers into your DPIA process. At the end of every DPIA, include a step that explicitly evaluates whether residual risk remains high after all planned mitigations. If it does, route the DPIA into the prior consultation pathway. Define what "high residual risk" means in your context and apply that threshold consistently. Put together a consultation submission template. Include the completed DPIA, a clear explanation of which processing creates the high risk, the mitigation measures you have already implemented or planned, why those measures are not sufficient to bring risk down, respective controller and processor responsibilities, the DPO's opinion, and any supporting documentation. Make it clear, well-structured, and easy for a regulator to follow. Get to know your lead supervisory authority's process before you ever need it. Understand their submission format, preferred channels, typical timelines, and any specific guidance they have published. Building that familiarity in advance will save significant time when a real consultation arises. Factor the consultation timeline into project planning. The authority has eight weeks, potentially stretching to fourteen. Build this into your project schedule so stakeholders understand that processing cannot begin until the consultation concludes. Surprises here can derail product launches. When the response arrives, document everything and act on it. Implement any recommended changes, update the DPIA, and if conditions are imposed, confirm they are fully in place before processing begins. Keep a complete record of the entire consultation for accountability.
Evidence Your Auditor Will Request
- DPIA process documentation showing prior consultation trigger criteria
- Records of prior consultation submissions to supervisory authorities
- Supervisory authority responses and advice received
- Evidence of implementing supervisory authority recommendations
- Updated DPIAs reflecting outcomes of prior consultation
Common Mistakes
- Processing commenced despite high residual risk without consulting the supervisory authority
- Prior consultation triggered but not pursued due to concern about regulatory scrutiny
- Incomplete or poorly prepared consultation submissions leading to delays
- Failing to implement supervisory authority recommendations following consultation
- No integration of prior consultation triggers into the DPIA process
Related Controls Across Frameworks
| Framework | Control ID | Relationship |
|---|---|---|
| ISO 27001 | A.5.34 | Related |
Frequently Asked Questions
How do we know if residual risk is 'high' enough to require prior consultation?
Can the supervisory authority block our processing?
Is prior consultation needed for every DPIA?
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